DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
B•••• C•••••• M••••••••• L••
Latest filing Mar 7, 2024
First filing on the tape Mar 16, 2018 · 15 filings
RAUM
$239M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$239M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$239M as of Mar 7, 2024
Mar 25, 2019$111M then
HNW client RAUM$205M as of Mar 7, 2024
Mar 25, 2019$76.8M then
State-registered IARs (5.B.3)2 as of Mar 7, 2024
Mar 25, 20192 then
Employees (5.A)2 as of Mar 7, 2024
Mar 25, 20192 then
Private funds: no history
RAUM +32% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 7, 2024; every figure names its basis
- RAUM per advisor
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $219,030derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $950,000, 99 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$205M86%
- Individuals$33.4M14%
- Individual clients
- 70reported
- HNW clients
- 70reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,090reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $950,000 for 99 clientsreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- B•••• P•••••• B•••• to M•• C•••••• M••••••••• L••Oct 4, 2024 · RIA to RIA
- S••••• M•••••• M•••••• to M•• C•••••• M••••••••• L••Oct 4, 2024 · RIA to RIA
Joined, latest
- S••••• M•••••• M•••••• from A•••••• C•••••• M••••••••• L••Feb 25, 2019 · Other
- B•••• P•••••• B•••• from S•••••••• A••••••• L••Oct 30, 2009 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• B••••• P•••••• · President And Sole Membercontrolsince 08/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 0 | 0 | 0 | ||
| Spring Hill, Tn | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Spring Hill, TN1 employees
What changed
consecutive filings, newest first
- Accounts · 940 to 1,090Mar 6, 2023 to Mar 7, 2024
- HNW clients · 63 to 70Mar 6, 2023 to Mar 7, 2024
- Individual clients · 65 to 70Mar 6, 2023 to Mar 7, 2024
- Assets in custody · $94.0M to $950,000Mar 6, 2023 to Mar 7, 2024
- Employees · 3 to 2Mar 6, 2023 to Mar 7, 2024
- Discretionary RAUM · $180M to $238MMar 6, 2023 to Mar 7, 2024
- HNW RAUM · $152M to $205MMar 6, 2023 to Mar 7, 2024
- Individual RAUM · $28.7M to $33.4MMar 6, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $738,125 to $1.2MMar 6, 2023 to Mar 7, 2024
- RAUM · $181M to $239MMar 6, 2023 to Mar 7, 2024
- Accounts · 888 to 940Mar 1, 2022 to Mar 6, 2023
- HNW clients · 58 to 63Mar 1, 2022 to Mar 6, 2023
- Individual clients · 66 to 65Mar 1, 2022 to Mar 6, 2023
- Assets in custody · $71.7M to $94.0MMar 1, 2022 to Mar 6, 2023
- Discretionary RAUM · $203M to $180MMar 1, 2022 to Mar 6, 2023
- HNW RAUM · $173M to $152MMar 1, 2022 to Mar 6, 2023
- Individual RAUM · $29.8M to $28.7MMar 1, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $21,040 to $738,125Mar 1, 2022 to Mar 6, 2023
- RAUM · $203M to $181MMar 1, 2022 to Mar 6, 2023
- Accounts · 596 to 888Oct 27, 2021 to Mar 1, 2022
- HNW clients · 61 to 58Oct 27, 2021 to Mar 1, 2022
- Individual clients · 47 to 66Oct 27, 2021 to Mar 1, 2022
- Assets in custody · $75.0M to $71.7MOct 27, 2021 to Mar 1, 2022
- Discretionary RAUM · $167M to $203MOct 27, 2021 to Mar 1, 2022
- HNW RAUM · $147M to $173MOct 27, 2021 to Mar 1, 2022
- Individual RAUM · $20.1M to $29.8MOct 27, 2021 to Mar 1, 2022
- Non-discretionary RAUM · $18,000 to $21,040Oct 27, 2021 to Mar 1, 2022
- RAUM · $167M to $203MOct 27, 2021 to Mar 1, 2022
- Employees · 2 to 3Feb 8, 2021 to Aug 19, 2021
- Accounts · 481 to 596Oct 15, 2020 to Feb 8, 2021
- HNW clients · 65 to 61Oct 15, 2020 to Feb 8, 2021
- Individual clients · 30 to 47Oct 15, 2020 to Feb 8, 2021
- Assets in custody · $74.0M to $75.0MOct 15, 2020 to Feb 8, 2021
- Discretionary RAUM · $135M to $167MOct 15, 2020 to Feb 8, 2021
- HNW RAUM · $127M to $147MOct 15, 2020 to Feb 8, 2021
- Individual RAUM · $8.1M to $20.1MOct 15, 2020 to Feb 8, 2021
- Non-discretionary RAUM · $0 to $18,000Oct 15, 2020 to Feb 8, 2021
- RAUM · $135M to $167MOct 15, 2020 to Feb 8, 2021
- Assets in custody · unset to 74000000.0Sep 2, 2020 to Oct 15, 2020
- Custody of client assets · false to trueSep 2, 2020 to Oct 15, 2020
Signals
3 dated events
- B•••• P•••••• B•••• left B•••• C•••••• M••••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2024-10-03)Oct 4, 2024 · Advisor changed firm · fact
- S••••• M•••••• M•••••• left B•••• C•••••• M••••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2024-10-03)Oct 4, 2024 · Advisor changed firm · fact
- F•••••• I••••••••• A••••••• filed its initial SEC registration (Form ADV)Mar 16, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026